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User Manual – Section 3 Admin Module

Version 2.0 - August 2017 Page i

Admin Module

3. Admin Module ........................................................................................................................................... 3-1

3.1 Purpose and Function of Admin Module ....................................................................3-1 3.2 Accessing the Admin Module .....................................................................................3-1 3.3 User Admin Functions ...............................................................................................3-2

3.3.1 Edit Grantee Contact Admin (FO) ....................................................................... 3-2

Procedure: Edit Grantee Contact ..................................................... 3-2

3.3.2 Grantee User Admin (GA) ................................................................................... 3-4

Procedure: Assign Users to Grant..................................................... 3-4

3.3.3 Certify and Activate Users .................................................................................. 3-5

Procedure: Certify and Activate Grantee Administrators (FO) ........ 3-6

Procedure: Certify and Activate Grantee Users (GA) ....................... 3-7

Procedure: Certify and Activate HUD Office Users (HUD Managers and Superusers) ................................................................................ 3-9

3.3.4 Manage Grantee User Accounts ....................................................................... 3-12

Procedure: New User Request ....................................................... 3-12

Procedure: Deactivate and Edit User Requests .............................. 3-15

Procedure: Grantee User Request Approvals................................. 3-16

3.3.4.3.1 Procedure: HUD Supervisory Approval ...................... 3-17 3.3.4.3.2 Procedure: HUD HQ Admin User Account Approvals 3-19

Procedure: User Request Status Report ......................................... 3-20

3.3.5 Manage Subordinate Grantees (GA) ................................................................. 3-21

Procedure: Associate Responsible Organization as a Subordinate Grantee ........................................................................................... 3-21

Procedure: Assign Roles to Subordinate users ............................... 3-22

Procedure: View Subordinate users ............................................... 3-22

3.3.6 Monitoring/Audit/TA Event (Add/Edit) (GA) (Search/View) (GA, FO) .............. 3-22

Procedure: Add/Edit Monitoring Event (GA) .................................. 3-24

3.3.6.1.1 Procedure: Add/Edit a Finding ................................... 3-27 3.3.6.1.2 Procedure: Add/Edit a Concern ................................. 3-30

Procedure: Add/Edit Audit Topic (GA) ............................................ 3-31

Procedure: Add/Edit Technical Assistance (TA) Event (GA) ........... 3-35

Procedure: Search Monitoring/Audit/TA Event (GA, FO) ............... 3-38

Procedure: View All Monitoring/Audit/TA (GA, FO)....................... 3-39

Procedure: Search Event Topics (GA, FO) ....................................... 3-40

3.4 Sub-Grant (GA) ........................................................................................................ 3-41 3.4.1 Procedure: Add Sub-Grant ................................................................................ 3-41

3.5 TA Rates and Staff (TA Providers only) ..................................................................... 3-43 3.5.1 Manage TA Staff Types and Rates .................................................................... 3-43

Procedure: Add, Edit, or Deactive TA Staff Rate Types .................. 3-43

Procedure: Delete TA Staff Rate Types .......................................... 3-46

Procedure: View HUD Comments by TA Staff Rate Type ............... 3-47

Procedure: Search TA Staff Rates/Types ........................................ 3-47


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Procedure: HUD Approval of TA Staff Rate Types .......................... 3-48

3.5.2 Manage TA Staff ................................................................................................ 3-49

Procedure: Add or Edit TA Staff ...................................................... 3-49


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3. Admin Module

This section provides information on the purpose and function of the Admin Module. It explains how to access the Admin Module, and the contents of the module. Specific procedures are outlined for the Grantee Admin, Field Office, and Super User roles to carry out essential Grant and Grantee Admin functions.

3.1 Purpose and Function of Admin Module

The Admin Module allows users to carry-out the following functions:

• Manage Users

o Assign Users to Grants

o Certify and Activate Users

o Add/Modify/Delete User Accounts

o Modify User Roles and Privileges

• Manage Subordinate Grantees

• Record Monitoring/Audit/TA Events

• Upload Data (see Section 9 of this User Manual)

• Manage TA Staff (TA Providers only)

• Upload Staff Data (TA Providers only -- see Section 9 of this User Manual)

3.2 Accessing the Admin Module

The Admin Module in DRGR must be accessed from a computer with an internet connection and web browser.

1. In DRGR application, click <Admin> link in the main navigation bar or the left navigation box (Figure 3-1).

Figure 3-1: Admin link in Navigation Bar


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2. This causes the ‘Admin’ module to be highlighted in the main navigation bar and changes the links in the top left ‘Admin’ navigation box. As shown in Figure 3-2, the system displays the “Associate User to Grants” screen to the grantee administrators while the system displays the “View All Monitoring/Audit/TA Events” screen to all non-grantee admin users. From the “Associate User to Grants” screen, grantee system administrators can select a grant that in turn allows them to assign grantee DRGR users to work with that grant. All grantee users see links for adding monitoring/audit/TA events, but HUD users do not have this link. All DRGR users are able to search and view monitoring/audit/TA information. The “Staff” links are available to TA Providers with the Staff Rate user role in DRGR.

Figure 3-2: DRGR User Navigation boxes

3.3 User Admin Functions

This section contains Admin Module procedures for HUD Field Office Managers, HUD CPD Representatives, and Grantee Administrators. Some procedures are permitted to be carried out exclusively by HUD Field Office Managers and CPD Representatives and are labeled ‘(FO).’ Some procedures are permitted to be carried out exclusively by Grantee Administrators and are labeled ‘(GA).’ Those procedures shared by both roles are labeled ‘(GA, FO).’

3.3.1 Edit Grantee Contact Admin (FO)

Procedure: Edit Grantee Contact

1. After logging in and accepting the ‘Disclaimer,’ click <Admin> in the navigation bar.

➢ This opens the “View All Monitoring/Audit/TA Events” screen.

2. Click <Edit Grantee Contact> link located in the left column ‘Admin’ navigation box.

➢ This opens the “Select a Grantee” (screen Figure 3-3).



Figure 3-3: Select a Grantee screen

Figure 3-4: Edit Grantee Contact screen

The “Edit Grantee Contact” screen (Figure 3-4) enables the FO user to add a new, or edit an existing, Grantee primary point of contact to the DRGR system. This contact is among those who are emailed when a Certification or Decertification of a Grantee Administrator occurs. An email is

sent to the Grantee Contact with a copy (“CC”) to the CPD Rep and Grantee Managers.



3.3.2 Grantee User Admin (GA)

Procedure: Assign Users to Grant

1. Log into DRGR and accept the Disclaimer. On the “Welcome/News” screen, click the <Admin> tab in the main navigation bar.

➢ This action opens the “Grantee User Admin” screen (Figure 3-5).

Figure 3-5: Grantee User Admin screen

2. In the ‘Grant Number’ column, click a <Grant Number> link (listed in the red square above).

➢ This action opens the “Assign and Remove Users” screen for the Grant Number selected (Figure 3-6).

The purpose of the “Assign Users to Grant” procedure is to enable the grantee administrator to assign and remove authorized and available users. An important thing to remember is DRGR grantee system administrators need to authorize each user for every grant they will work on. If the system administrator forgets to do this, grantee users are not able to see and work on Action Plans, QPRs, or draws for grants.



Figure 3-6: Assign and Remove Users screen

➢ Clicking <Save Changes> opens the “Grantee User Admin” screen displaying a “Success: …changes were saved” message (Figure 3-7).

Figure 3-7: Grantee User Admin screen with “Success” message

3.3.3 Certify and Activate Users

In addition to the initial certification, a recertification process occurs every 6 months, requiring each DRGR user to be recertified by a higher-level user. If a DRGR user’s certification expires, they will be unable to login until the recertification process is completed.



Procedure: Certify and Activate Grantee Administrators (FO)

1. After logging in and accepting the ‘Disclaimer,’ click <Admin> in the navigation bar.

2. This action opens a default “Admin” screen. Click <Certify Grantee Administrators> link located in the left column ‘Admin’ navigation box.

➢ This opens the “Certify Grantee Administrators” screen (Figure 3-8 and Figure 3-9). The page allows FO users to:

• Certify/Decertify users

• Approve or Reject New User and Change requests



Figure 3-8: Certify Grantee Administrators screen

Figure 3-9: Certify Grantee Administrators screen (bottom of screen)

➢ Clicking <Save Changes> causes the screen to recycle and display a “Successfully updated” message.

Procedure: Certify and Activate Grantee Users (GA)

1. Log into DRGR and accept the ‘Disclaimer.’ On the “Welcome/News” screen, select the <Admin> link in the navigation bar.

➢ This action opens a default “Grantee User Admin” screen.

2. In the left navigation column, click <Certify Grantee Users> link in the ‘Admin’ box.



➢ This action opens the “Certify Grantee Users” screen (Figure 3-10).

Figure 3-10: Certify Grantee Users screen

Figure 3-11: Certify Grantee Users screen with changes

3. To save the changes you made, click <Save Changes> button (Figure 3-11).

➢ This action recycles the screen and adds a “Successfully updated” message (Figure 3-12).

4. The <Cancel> button enables you to cancel the process and deletes any changes made to the screen.

Figure 3-12: Certify Grantee Users screen with “Successfully updated” message



Procedure: Certify and Activate HUD Office Users (HUD Managers and Superusers)


➢ This action opens a default “Admin” screen.

2. In the left navigation column, click <Certify HUD Office Users> link in the ‘Admin’ box.

➢ This action opens the “Certify HUD Office Users” screen (Figure 3-13).

Figure 3-13: Certify HUD Office Users screen

3. To Decertify HUD Office Users, under the ‘Certified Users’ heading (listing of users who have been certified as HUD Office Users) select one or more users you wish to Decertify.



Note: You can select more than one User by holding down the Ctrl button on your keyboard.

4. Then click <Decertify>.

➢ This action moves the selected user name(s) to the ‘Users with Expiring Certifications’ box (Figure 3-14).

Figure 3-14: Certify HUD Office Users screen with Expiring Certifications

5. To Certify or Re-Certify HUD Office Users, under the ‘Users with Expiring Certifications’ heading (listing of users who have been decertified as HUD Office Users) select one or more users you wish to Certify or Re-certify.


6. Then click <Certify> (Figure 3-14).

➢ This action moves the selected user name(s) to the ‘Certified Users’ box.



Figure 3-15: Certify HUD Office Users screen

7. To Activate HUD Office Users, under the ‘Users inactivated due to Expired Certifications’ heading, select one or more users you wish to Activate or Re-Activate (Figure 3-14).

Note: You can select more than one by holding down the Ctrl button on your keyboard.

8. Then click <Activate User> (Figure 3-15).

➢ This action moves the selected user name(s) to the ‘Users with Expiring Certifications’ box.

9. To Inactivate HUD Office Users, under the ‘Users with Expiring Certifications’ heading, select one or more users you wish to Inactivate (Figure 3-14).


10. Then click <Inactivate User> (Figure 3-15).

➢ This action moves the selected user name(s) to the ‘Users inactivated due to Expired Certifications’ box.

11. To save the changes you made, click <Save Changes>.

➢ This action recycles the screen and adds a “Successfully updated” message (Figure 3-16).

12. The <Cancel> button enables you to cancel the process and deletes any changes made to the screen.



Figure 3-16: Certify HUD Office Users screen with “Success” message

3.3.4 Manage Grantee User Accounts

Prior to DRGR Release R7.10 (May 2014), the request for new grantee accounts and changes to grantee accounts was managed via a process outside of the DRGR system. Supervisors submitted requests by email or CHAMPS. DRGR HQ Administrators created the profile after verifying that the information was complete and submitted by the appropriate HUD field staff person.

Beginning with DRGR Release 7.10 authorized DRGR users must submit requests for new grantee accounts or account changes within DRGR. Each request must be approved by the appropriate HUD HQ/Field office user. Once approved by the HUD HQ/Field office user, the HQ Admins can activate the profile. On Activation, the requestor and the users are notified via email that the requested accounts have been set-up. The following users have the privileges to request new or update user accounts:

• HUD Field Office Managers with the “User Profile Request” role

• HUD CPD Reps with the “User Profile Request” role

• Grantee users with the “User Profile Request” role

HUD user profiles must be submitted by a FO Manager through a DIAMS request at http://diams.hud.gov.

Procedure: New User Request

Authorized Grantee and HUD users can submit a new user request via the “Request New User” link in the Admin Module (Figure 3-17). If the user does not have the authorized role, this link is not available.



http://diams.hud.gov/



2. In the left navigation column, click <Request New User> link in the ‘Admin’ box (Figure 3-17).

➢ This action opens the “Request New User” screen (Figure 3-18).

➢ On clicking the “Request New User” link, the system displays the page to either search for the user in the Integrated Disbursement and Information System Online (IDIS Online) system (to prevent duplication) or create a new user request (Figure 3-18).

Figure 3-17: Request New User Link

Figure 3-18: Request New User Selection

3. An IDIS Online user can be searched by using either Username (User ID) or Name (person’s name) (Figure 3-19). The Name search is not case sensitive and matches on last name and first name of the user’s name.

➢ For requests made by the grantee users, the system only queries the active users in IDIS Online which are associated with the IDIS Online Grantees (same DUNS# or TIN# as DRGR grantee). IDIS users who are not in DRGR are displayed.

➢ For requests made by a HUD user, the system queries all active IDIS Online users. IDIS users who are not in DRGR are displayed.

Figure 3-19: Search for IDIS Online User

4. If the requestor selects “No/Unknown/Unable to find” (Figure 3-20) the clicks the <Continue to Next Page> button, the Request New User page is displayed. The page contains two parts:

➢ User Contact



➢ User Profile

5. The requestor should input the new user’s information for all fields marked with an asterisk (*).

➢ The User Contact section (Figure 3-20) supports the capture of user information including the PIN number. The PIN number is a five digit number that is required by the HUD Help Desk.

Figure 3-20: Request New User Part I

6. The requestor should input the new grantee user’s profile. ➢ The User Profile section (Figure 3-21) supports the designation of user roles, allows adding or

removing supporting documents, and inserting comments. A requester can upload one or more documents in the supporting documents section.

Figure 3-21: Request New User Part II

➢ For requests made by the grantee, the Grantee Profiles are restricted to the agency of the requested user. When a grantee user submits a new user request, the system will validate if the submitted user exists in the system by matching last name, first name and email. If the system



detects any matches, the system will display the matching names before proceeding to submittal of the request.

7. After submission of the new user request, the system notifies the HUD approvers with a receipt of the request.

8. Each request, initiated by grantee or HUD, requires HUD approval by the grantee’s CPD Representative or Field Office Manager. Please see Section 3.3.4.3 for more information.

9. Following approval of the request by the CPD Rep, the request must be approved by the HUD Headquarters Administrator then a completion notification is sent to the requestor and person for whom the request was made. Please see Section 3.3.4.3 for more information.

Procedure: Deactivate and Edit User Requests

Authorized users submit edit user requests and deactivation requests via the “Manage Existing Users” link (Figure 3-22). If the user does not have the authorized role, this link is not available.



2. In the left navigation column, click <Manage Existing Users> link in the ‘Admin’ box (Figure 3-17).

➢ When the user clicks the “Manage Existing Users” link, the system displays the Manage Existing Users page where search criteria can be entered to search for a user (Figure 3-23).

Figure 3-22: Manage Existing Users Link

3. Enter search criteria to locate the user’s account (Figure 3-23).

Figure 3-23: Manage Existing Users

4. Select the user by clicking the radio button next to the wanted user (Figure 3-23).

5. Choose one of the following operations for the selected user (Figure 3-23):

➢ Request Edit – request changes to the user information and privileges. By clicking the <Request Edit> button, the user’s information is displayed on the Request User Edits screen (Figure 3-24)



similar to the Request New User page. The requestor should make the necessary modifications to the user’s account and click the <Submit> button (Figure 3-24).

➢ Request Deactivation – request to deactivate the user profile. By clicking the <Request Deactivation>, the requestor should confirm the submission of the request to deactivate the selected user’s account.

Figure 3-24: Request User Edits screen

6. After submission of the deactivation or modification request, the system notifies the HUD approvers with a receipt of the request.

7. Each request, initiated by grantee or HUD, requires HUD approval by the grantee’s CPD Representative or Field Office Manager. Please see Section 3.3.4.3 for more information.

8. Following approval of the request by the CPD Rep, the request must be approved by the HUD Headquarters Administrator then a completion notification is sent to the requestor and person for whom the request was made. Please see Section 3.3.4.3 for more information.

Procedure: Grantee User Request Approvals

After submission of the new user, edit, and deactivation request, the system notifies the HUD approvers with a receipt of the request. All user requests require two HUD authorizations:

➢ Supervisory approval - the system allows HUD users with the user profile request role (e.g. CPD Field Office Managers and CPD Representatives) to submit and approve the same user request. However, if the request is intiated by a grantee user, the appropriate HUD Field Office Manager or CPD Representative must approve the request.

➢ HUD Headquarters Administrator user account activation/approval- After Supervisory Approval of the request, a notification is sent to the requestor, DRGR_Help mailbox, and the HQ Administrators.



3.3.4.3.1 Procedure: HUD Supervisory Approval

All Grantee requests are approved by either the CPD Rep or Field Office managers. HUD users with approval rights have access to the “Certify” links under the “Admin” menu option to approve user requests (Figure 3-25). The supervisory approval of user requests is similar to the certification process.



2. Click <Certify Grantee Administrators> or <Certify Grantee Users> link on the left (Figure 3-25).

Figure 3-25: Approve/Certify Users Requests Links

➢ The certification page displays the list of users that require approval for new, modification, or deactivation of users (Figure 3-26).

3. Selecting the users and clicking on the appropriate “Approve…” button approves the request. ➢ Conversely, selecting the user and clicking on the appropriate “Reject…” button rejects the

request and an automated email is forwarded to the requestor, notifying them of the rejection.



Figure 3-26: Certify/Approve/Reject/Deactivate User Requests

4. Selecting the user and clicking the “View Requested User” button displays the “View User Profile” page (Figure 3-27).

Figure 3-27: View Requested Users



➢ The View User profile displays the details of the request (Figure 3-28).

Figure 3-28: View User Requests

3.3.4.3.2 Procedure: HUD HQ Admin User Account Approvals

Once the user requests have been approved, the HUD HQ Administrators are able to perform the following actions to activate the requests on the “User Admin - Active and Inactive Users” page (Figure 3-29):

• Edit Requested User – allows modification to the user request and displays requested roles.

• Activate New User Request – activates the profile. After the request is processed via ADP, a

HUD HQ Administrator will activate the new user profile, and the HUD approver and the newly

activated user are automatically notified via email. Note: The ‘Generate ADP Request’ button

generates an excel spreadsheet with requested user information. This is then sent to ADP

security for processing and account creation.

• Activate User Change Request – activates changes to existing DRGR profile.

• Deactivate User Request – deactivates the profile.

When the request is activated by the HUD Headquarters Administrator, a completion notification along with the username and instructions for logging in for the first time is sent to the HUD approver and person for whom the request was made. If the user has an existing IDIS account, the DRGR and IDIS profiles will be merged into one account , and the user will be provided with the same IDIS username and PIN number. If the new user receives a second username, they should contact the [email protected] mailbox to have the accounts merged.

mailto:[email protected]



Figure 3-29: HUD HQ Administrator Actions

Procedure: User Request Status Report

Report “User Change Request – Outstanding Requests” reports the status of the requests (

Figure 3-30). The following Actions are reported: Request, Approve, Generate ADP Ticket, and Complete. If the request is not in complete status, contact your supervisor or HUD contact.

Figure 3-30: User Request Status Report



3.3.5 Manage Subordinate Grantees (GA)

The system allows grantee administrative users to authorize restricted access to users from subordinate grantees. Subordinate grantees are identified using the Add/Edit Organization pages.

Primary Grantee Admin users can specify allowable roles:

a. Edit AP activity under Responsible Organizations

b. Submit Voucher request under Responsible Organizations

c. Submit QPR activity profile under Responsible Organizations

Authorized subordinate users then have access to Action Plans, Performance Reports and Drawdown based on the assigned role.

Subordinate users:

d. Can only edit/draw activities where the responsible organization is the “primary responsible organization”.

e. Cannot submit AP, submit QPR, or approve any vouchers.

Procedure: Associate Responsible Organization as a Subordinate Grantee

Grantee Admin users can associate a Responsible Organization to a DRGR Grantee. This allows all users of the associated grantee to have access to activities where the Responsible Organization is the primary responsible organization.

1. Upon successful DRGR login, click <Action Plans> tab in the navigation bar.

➢ This opens the “View All Action Plans” screen.

➢ Click <Search> link in the left column ‘Responsible Organization’ navigation box.

➢ Then search for organization and select <Edit> link to Edit Organization

➢ The responsible organization can then be associated with a DRGR Grantees (see Figure 3-31).

Figure 3-31: Associate Responsible Organization as a Subordinate Grantee



Procedure: Assign Roles to Subordinate users

Grantee Admins users can select the subordinate grantee users and assign user roles.

1. Click <Edit Subordinate Grantees> link in the left column ‘Admin’ navigation box.

2. On the Subordinate Grantee User Access page click <Assign> or <Remove> buttons to assign the user.

3. Once user is selected, click <Assign Role> to provide appropriate role to the user (seeFigure 3-32).


Procedure: View Subordinate users

Grantee Admin users can view the subordinate grantees.

1. Click <View Subordinate Grantees> link in the left column ‘Admin’ navigation box.

2. View Subordinate Grantee User Access page (see Figure 3-33) displays including subordinate grantees and users listing.

3. If there are no subordinate grantees assigned then the page displays “No Data Found”.


3.3.6 Monitoring/Audit/TA Event (Add/Edit) (GA) (Search/View) (GA, FO)

Grantees can record Monitoring, Audit, and Technical Assistance events in the Admin Module to provide a summary of critical management and oversight actions they carry out as part of meeting their responsibilities for day to day management of their grant programs. In the case of Disaster Recovery CDBG and NSP grants, the appropriation laws require that grantees and HUD identify how they are preventing fraud, waste, and abuse. The Admin Module is designed to allow grantees to provide this information through DRGR.

HUD monitors most grantees based on a risk analysis in which HUD assigns scores based on the size of a grantee’s program, the number of subrecipients, and the capacity of the grantee’s staff, among other things. The Admin Module allows grantees to contribute information to this analysis and to show how



they are taking action to make their programs less risky and more effective. If a grantee has a large number of subrecipients and contractors, HUD may consider the program more risky. On the other hand, if the grantee is regularly providing technical assistance to and monitoring of its program partners, including following up on any findings, HUD is likely to consider some or all of the risk mitigated by appropriate management action.

Thus, the data in the Admin Module helps grantees and HUD to develop a shared understanding of the steps grantees are taking to ensure funds are used properly and to further the recovery or stabilization goals of their grant programs and communities.

DRGR includes summary performance information regarding grantee efforts in the areas of monitoring, audit, and technical assistance. This data can then be reviewed by HUD staff to examine the level of effort and results, assess risk associated with these grants, and in turn, direct HUD technical assistance and monitoring resources. This information identifies what activities have been reviewed or assisted and the results of these review and assistance visits. However, the Quarterly Performance Report (QPR) only shows the number of visits and reports within the quarter and totals to date (see Figure 3-34).

Figure 3-34: Monitoring, Audits, and Technical Assistance table

It is important to remember that this module is NOT a monitoring system in itself. It is only for reporting very basic summary level information about the number of visits and reports related to a grantee’s oversight of the activities funded under their grants in the DRGR system. In general, the information requested on visits is limited to the dates of visits and reports as well as very high-level categories of compliance issues reviewed such as: national objective, eligible activities, financial management, and environmental review.

The section on Monitoring, Audits, and Technical Assistance in a QPR displays as soon as data are entered into it. Since the DRGR system calculates the number of visits and reports based on the dates entered, the QPR shows dates that fall under the current report period as well as all visits and reports to date.

There are two basic levels of information in the DRGR Admin Module (see Figure 3-35):

1) Events/Reports 2) Findings/Concerns/TA Topics

For the first level, grantees enter the start and end dates of monitoring, audits or TA visits as well as the date of reports. Grantees can also identify which activities have been reviewed or assisted as well as the major categories of topics covered in reviews or assistance. For the second level, grantees should identify any findings and concerns made, as well as their status and corrective actions. For technical assistance, grantees can identify the basic categories of topics covered.



In monitoring and audit events, findings or concerns may be reported as resolved during the report process or left open. The DRGR Admin module allows users to identify the status of findings and to note any follow-up action taken.

Figure 3-35: Monitoring/Audit/TA Flow Chart

Procedure: Add/Edit Monitoring Event (GA)



2. In the left navigation column, click <Add Monitoring/Audit/TA> link in the ‘Admin’ box.

➢ This action opens the “Add/Edit Monitoring/Audit/TA Event” screen (Figure 3-36).

Figure 3-36: Add/Edit Monitoring/Audit/TA Event screen

Monitoring

Finding

Concern

Audit

Audit Topics

Technical Assistance

TA Topics

Monitoring & Technical

Assistance

Finding

Concern

TA Topics

Throughout the year, Grantees may provide support to help Responsible Organizations achieve their goals by providing Technical Assistance (TA) to identify problems, evaluate performance, and ensure compliance with regulations and program requirements. Grantees can also monitor Responsible Organization activities and report on such monitorings by using the Admin module (selecting the <Monitoring> radio button (Figure 3-36). The “Add/Edit Monitoring/Audit/TA Event” screen allows Grantee users to add and edit a Monitoring/Audit/TA Event.



Figure 3-37: Responsible Organizations - Search

➢ The results display in a table below the Search button (Figure 3-38). If the correct organization is found, it can be selected by the buttons in the “Select” column. Otherwise, users can alter their search criteria.

Figure 3-38: Responsible Organization Select List

3. Select the desired Responsible Organization, and then click <Select Responsible Organization>.

‘Responsible Organization’ <Select> Button

Data that is required to save Monitoring/Audit/TA events is indicated by an asterisk. Users identify the organization involved in the event (the organization being monitored, audited or receiving technical assistance) using the <SELECT> button (this dropdown is populated by the Responsible Organizations set up in the grantee’s Action Plan). Grantees must also identify whether the assistance/oversight event was provided on-site at the location of the responsible organization or the activity or if the event was provided remotely (e.g. from the grantee office). Using the <SELECT> button takes the user to another screen (see Figure 3-37) to search for the organization to assign to the event. Users can leave this blank or enter partial information to search for organizations that have been created in the action plan module.



➢ After the organization is selected, it displays on the “Add/Edit Monitoring/Audit/TA Event” screen. Users can select one or more major categories of program requirements that were reviewed as part of the monitoring event (Figure 3-39). At minimum, the start date of the monitoring event must be recorded. If the event is complete, this date can also be recorded. Similarly, the date of issuance of any report associated with the event can also be entered. Finally, space is also available to describe the nature of the monitoring event.

Figure 3-39: Add/Edit Monitoring/Audit/TA Event screen after reference number has been saved

If there are any findings and concerns, use the buttons near bottom of screen to add them.

Note: HUD considers a “Finding” to be an instance of noncompliance with program requirements; a “Concern” is a practice or situation that, if left unaddressed, may lead to noncompliance. See section 3.3.6.1.1 for the ‘Add Finding’ procedure; see section 3.3.6.1.2 for the ‘Add Concern’ procedure.



3.3.6.1.1 Procedure: Add/Edit a Finding

1. The user adds findings by using the ADD FINDING button displayed near the bottom of the “Add/Edit Monitoring/Audit/TA Event” screen (Figure 3-40).

Figure 3-40: Add/Edit Finding screen

2. Clicking the <Select Activities> button opens the “Search for Activities to Assign to Event Action” screen (Figure 3-41).

Note: Changes can be made to the event after it has been saved, but certain types of changes may cause problems with related findings and concerns that are created. These include event type, responsible organizations, and program requirement categories. A warning message displays if any of these changes are initiated.

Some information from the event is displayed at the top of the finding profile including the event reference number and the responsible organization. Only the program requirements categories displayed in the monitoring event profile display in the dropdown for the “Program Requirement Category”. Users must select the category that applies to the finding. The finding may apply to all activities for an activity or users can the use the <Select Activities> button to identify specific activities (see Figure 3-40).



Figure 3-41: Search for Activities to Assign to Event Action screen

➢ Again, results display in a table below the Search button (Figure 3-42). If the activities are not found, the search criteria can be changed and resubmitted.

Figure 3-42: Search for Activities to Assign to Event Action screen w/ search results

3. Assigned activities display on the finding screen (activities can also be deleted from the selected list if needed).

4. Users must assign an ID to each finding and can create a short title to describe the finding. Corrective actions are similar to HUD’s GMP system and must be identified for the finding. Users select a corrective action using the “Corrective Action Type” dropdown (Figure 3-43).

Figure 3-43: Finding screen with entries



➢ Space is provided to describe findings and corrective actions, but the level of detail is up to the grantee. If the corrective action includes reimbursement, there is also space to identify the Amount Requested and the Amount Recovered. These amounts can be left as zero, as needed.

Figure 3-44: Bottom of Finding screen

5. On the bottom of the “Finding” screen (Figure 3-44), users must enter whether the finding is subject to future verification and enter the “Response Deadline Date” Users must also indicate the “Status” of the finding. If the finding is shown as closed, a “Closed Date” must be entered. A narrative field is provided to describe follow-up action such as the dates or content of response letters. As with other narrative fields in the Admin module, the amount of text is up to the grantee. Click <Save> after you have completed all entries.

Note: Once the finding is saved, it displays above the <Add Finding> button. An <Edit> link is displayed under the Action column on the right (Figure 3-45). This link re-opens the “Add/Edit Finding” screen for editing of Finding information.

Figure 3-45: Add/Edit Activities to Assign to an Event Topic



3.3.6.1.2 Procedure: Add/Edit a Concern

1. To add a concern, click <Add Concern> button on the “Add/Edit Monitoring/Audit/TA Event” screen.

➢ This takes you to the “Add /Edit Concern” screen (Figure 3-46).

Figure 3-46: Add/Edit Concern screen

Some of the information on this screen is similar to the “Add Finding” screen, including program requirement category, activities the concern applies to, and the status of the concern. However, narrative sections are shown as Description of Concern and Recommended Action (see Figure 3-47). The level of detail for narratives is up to the grantee. No corrective action types or dates are required.

Figure 3-47: Add/Edit Concern screen

2. After completing the information on this screen, click the <Save> button.



➢ This re-opens the “Add/Edit Monitoring/Audit/TA Event” screen showing the ‘Event Topics’ saved at the bottom of the screen (Figure 3-48).

Figure 3-48: Add/Edit Monitoring/Audit/TA Event screen with Event topics

As with Findings, an <Edit> link appears in the right-hand side ‘Action’ column on the list of findings/concerns, which grantee users can use to edit findings/concerns.

Procedure: Add/Edit Audit Topic (GA)

1. Log into DRGR and accept ‘Disclaimer.’ On the “Welcome/News” screen, select the <Admin> link in the navigation bar.

➢ This action opens the “Add/Edit Monitoring/Audit/TA Event” screen (Figure 3-49).



Figure 3-49: Add/Edit Monitoring/Audit/TA Event screen

2. After completing the screen, click the <Save> button. The “Add/Edit Monitoring/Audit/TA Event” screen re-opens showing the “Monitoring/Audit/TA has been saved” message, and the <Add Audit Topic> button

activated (see Figure 3-50).

Grantees are responsible for establishing requirements, as necessary, to ensure compliance with Federal audit requirements by Responsible Organizations. The contract with the Responsible Organizations should describe applicable compliance requirements and the Responsible Organization’s compliance responsibility. Methods to ensure compliance for Federal awards made to Responsible Organizations may include pre-award audits, monitoring during the contract, and post-award audits. The ‘Add/Edit Audit Topic’ screen allows Grantee users to add and edit an Audit Topic event.



Figure 3-50: Re-opened Monitoring/Audit/TA Event screen

3. Click <Add Audit Topic>.

➢ This opens the “Add/Edit Audit Topic” screen (Figure 3-51 shows top section of the screen).

Figure 3-51: Add/Edit Audit Topic screen (Top section)

4. The “Search for Activities to Assign to Event Action screen” is shown in (Figure 3-52).



Figure 3-52: Search for Activities to Assign to Event Action screen

➢ Clicking <Assign Activities to Event Action> brings you back to the “Add/Edit Audit Topic” screen with the Activities listed (Figure 3-53).

Figure 3-53: Add/Edit Audit Topic screen (Top section)



➢ The bottom section of the “Add/Edit Audit Topic” screen (Figure 3-54) enables you to enter important Audit Topic information including ID, Description, Budget, and Status.

Figure 3-54: Add/Edit Audit Topic screen (bottom section)

Procedure: Add/Edit Technical Assistance (TA) Event (GA)

The procedure for adding/editing a TA Topic Event is almost identical to that for adding/editing an Audit Topic event. The main exception is the selection of the Event Type on the “Add/Edit Monitoring/Audit/ TA Event” screen which should be either ‘Technical Assistance’ or ‘Monitoring/Technical Assistance’ (Figure 3-55).

Throughout the year, the Grantees continue the process of providing support to help Responsible Organizations achieve their goals. This is accomplished by providing Technical Assistance (TA) to address identified problems, evaluate performance, and ensure compliance with regulations and program requirements. The ‘Add/Edit TA Topic’ screen allows Grantee users to add and edit a Technical Assistance Topic.



Figure 3-55: Add/Edit Monitoring/Audit/TA Event (TA Event selected)

After saving entries on this screen, the <Add TA Topic> button is activated (Figure 3-56) and ready for adding/editing one or more TA Topic Event, as accomplished with the Audit Topic Events procedure of Section 3.3.6.2.



Figure 3-56: Add/Edit Monitoring/Audit/TA Event screen w/ “Saved” message and <Add TA Topic>

activated

➢ The “Add/Edit TA Topic” screen is shown in (Figure 3-57).



Figure 3-57: Add/Edit TA Topic screen

Procedure: Search Monitoring/Audit/TA Event (GA, FO)



2. In the left navigation column, click <Search Monitoring/Audit/TA Event> link in the ‘Admin’ box.

3. This action opens the “Search Monitoring/Audit/TA Events” screen (Figure 3-58).

The ‘Search Monitoring/Audit/TA Events’ screen provides the user with the ability to search and select Monitoring Events accessible to them. HUD HQ users have access to all Monitoring Events; HUD field office users have access to all Monitoring events within their territory and Grantees in their jurisdiction.



Figure 3-58: Search Monitoring/Audit/TA Event screen

Procedure: View All Monitoring/Audit/TA (GA, FO)


➢ This action opens a default ‘Admin’ screen.

2. In the left navigation column, click <View All Monitoring/Audit/TA> link in the ‘Admin’ box.

➢ This action opens the “View All Monitoring/Audit/TA Events” screen (Figure 3-59).

Figure 3-59: View All Monitoring/Audit/TA Events screen

3. Click <View> for the desired Event.

➢ This opens the “View Monitoring Event” screen (Figure 3-60).

The ‘View All Monitoring/Audit/TA Events’ screen displays all Monitoring Events accessible to the user. HUD HQ users have access to all Monitoring Events; HUD field office users have access to all Monitoring events within their territory and Grantees to their jurisdiction.



Figure 3-60: View Monitoring/Audit/TA Event screen

Procedure: Search Event Topics (GA, FO)


➢ This action opens a default ‘Admin’ screen.

2. In the left navigation column, click <Search Event Topics> link in the ‘Admin’ box.

➢ This action opens the “Search Event Topics” screen (Figure 3-61).

The ‘Search Event Topics’ screen provides the user with the ability to search and select findings and concerns accessible to them. HUD HQ users have access to all findings/concerns; HUD field office users have access to all findings/concerns within their territory and Grantees in their jurisdiction.



Figure 3-61: Search Event Topics screen

➢ The Search screen is redisplayed with the search results appearing in a table based on the search criteria.

3.4 Sub-Grant (GA)

Subgrants are used by a Grantee when an allocation of grant funds for one or more programs will be administered directly by a separate organization, such as a unit of local government. Subgranting funds in DRGR allows separate tracking of expenditures and performance by subgrants.

3.4.1 Procedure: Add Sub-Grant

1. After logging in and accepting the ‘Disclaimer,’ click <Grants> tab in the navigation bar.

➢ This opens the “View All Grants” screen (Figure 3-62).

Figure 3-62: View All Grants screen



2. On the “View All Grants” screen, click a <Grant Number> link for which you wish to add a Sub-Grant.

➢ This action opens the “View Grant” screen (Figure 3-63).

Figure 3-63: View Grant screen

3. In the left column ‘Grants’ navigation box, click <Edit> link.

➢ This action opens the “Edit Grant” screen (Figure 3-64).

Figure 3-64: Edit Grant screen

4. To add a Sub-Grant, click <Add Sub Grant> button.

➢ This action opens the “Add Sub Grant” screen (Figure 3-65).



Figure 3-65: Add Sub Grant screen

3.5 TA Rates and Staff (TA Providers only)

TA Providers with the Staff Rate role in DRGR use the System to obtain HUD approval of the hourly wage rates for all staff persons (e.g., direct staff, contractor, and consultant persons) expected to work under the TA award. TA Providers also use the System to associate the specific names of staff persons with approved rates. HUD approval of rates is required before TA Providers can add staff to TA work plans in DRGR. Note: In addition to the processes described below, information for rates and staff can be uploaded in DRGR. See Chapter 9 – Data Uploads for more information.

3.5.1 Manage TA Staff Types and Rates

The System allows authorized users of TA Providers (e.g., users with the Staff Rate role in DRGR) to add, edit, delete, view, and search for TA Staff Types and Rates, which require HUD approval. These actions are complete using the “Manage Staff Types” link in the “Admin” module (Figure 3-66). Procedures to complete each action are provided on the following pages.

Procedure: Add, Edit, or Deactive TA Staff Rate Types

Authorized users of TA Providers (e.g., users with Staff Rate role) can view and submit rates in DRGR via If the user does not have the authorized role, this link is not available.



2. In the left navigation column, click <Manage Staff Types> link in the ‘Admin’ box (Figure 3-66).

➢ This action opens the “Manage Staff Types” screen (Figure 3-67).



➢ On the “Manage Staff Types” page, the system displays options to search, view, and delete existing Staff Types, Staff Rate Status, Rate Type, or Occupation Type; or an option to add a new Staff Type (Figure 3-67).

Figure 3-66: Staff Links (for authorized TA Providers)

Figure 3-67: Manage Staff Types

3. To edit staff types, click <Edit> link under the “Action” column.

➢ This action opens the “Edit Staff Types” screen (Figure 3-68).

4. To add staff types, click <Add Staff Type> button.

➢ This action opens the “Add Staff Types” screen (Figure 3-68).

Figure 3-68: Add/Edit Staff Type

Use the edit staff type option to correct mistakes or to change information requested by HUD. Otherwise, use the add staff type.



5. Complete each mandatory field (marked with an asterisk (*)).

➢ Staff Type: enter an appropriate staff type; use HUD guidance to complete this field.

➢ Effective date: enter a date in the proper format (mm/dd/yyyy). This action opens the “Add Staff Types” screen (Figure 3-68).

➢ Rate Type: defaults to “TBD”; select a rate type from the dropdown menu (staff, consultant, contractor).

➢ Occupation Type: defaults to “TBD”; select a occupation type from the dropdown menu. The options in the dropdown are define in HUD guidance related to rates.

➢ Base Rate/Hour($), Fringe Rate($), Overhead Rate($), General & Admin Rate($), Total Rate per Hour($): enter a numeric value in each field (zero is an acceptable value); do not use the dollar sign ($).

➢ Current Status: populates the current approval status of the rate.

➢ Status: defaults to pending approval; select “Inactive” to deactive the rate.

6. To add supporting documents to the staff type, click <Add Additional Documents> link.

➢ This action opens a field to browse.

7. Click the <Browse> button.

➢ This action opens a window to choose a file to upload into DRGR. Select a file and click the <open> button.

8. To remove documents, click the checkbox for the document and then click <Remove Selected Document> link.

9. To save and submit the staff type to HUD, click the <Save> button. Or to cancel submission of the staff type, click the <Cancel> button.

➢ After clicking the <Save> button, the System displays an email configuration page (Figure 3-69: Send Email).

➢ The user may add or remove email addresses, and edit the email message before it is sent. Notice is sent to email addresses identified.

➢ Click <Send Email> to send the email notice. Or click <Cancel> to no send any notice.

TA Providers are responsible for compling with HUD Wage Rate standards and submitting the appropriate rate information for HUD approval. The Wage Rate standards include submitting supporting documents for certain rates and definitions for the options under Occuption Type in DRGR. These standards are available online at https://www.hud.gov/program_offices/comm_planning/about/cpdta/guidance.

Do not deactive a rate unless all reimbursement payments are complete, including indirect cost rate adjustments, and all associated TA work plans have a “Closed” status in DRGR.

https://www.hud.gov/program_offices/comm_planning/about/cpdta/guidance



Figure 3-69: Send Email

Procedure: Delete TA Staff Rate Types

Authorized users of TA Providers (e.g., users with Staff Rate role) can delete rates in DRGR. If the user does not have the authorized role, this link is not available.

1. After logging in and accepting the ‘Disclaimer,’ click the <Admin> tab.



3. Under the “Action” column, click the <Delete> link (Figure 3-70: Delete TA Staff Rate).

➢ This opens a popup screen to confirm whether or not the rate should be deleted (Figure 3-70: Delete TA Staff Rate).

Figure 3-70: Delete TA Staff Rate

To add, edit, or deactive rates using the upload rate function, see section 9 of this manual.



4. Click the <Ok> button to confirm deletion. Or click the <Cancel> button to make no changes.

Procedure: View HUD Comments by TA Staff Rate Type

Authorized users of TA Providers (e.g., users with Staff Rate role) and CPD Representatives assigned to an award can view HUD comments for rates associated with that award in DRGR. If the user does not have the authorized role, this link is not available.




3. Under the “Action” column, click the <Comments> link (Figure 3-71).

➢ This opens a popup screen to view comments from HUD (Figure 3-71).

Figure 3-71: View HUD Comments for TA Staff Rates

4. Click the <Close> button to close the popup window and return to DRGR.

Procedure: Search TA Staff Rates/Types

Authorized users of TA Providers (e.g., users with Staff Rate role) and CPD Representatives assigned to an award can search for rates associated with that award in DRGR. If the user does not have the authorized role, this link is not available.




3. Under the “Search Criteria,” use the “Staff Types,” “Staff Rate Status,” “Rate Type,” and “Occupation Type” dropdown menu to locate rates in DRGR.

➢ “Staff Types” are defined by the TA Provider based on HUD guidance.

Rates associated with TA work plans cannot be deleted. Delete only rates not associated with work plans. To deactive rates, use the upload rate function (section 9 of this manual).

Comments may include reasons a rate was rejected by HUD, and limitations on rates approved by HUD.



➢ The “Staff Rate Status” dropdown menu includes: Approved (e.g.,rates approved by HUD), Inactive (e.g., rates no longer used for billing), Pending Approval (e.g., rates submitted for and still pending HUD approval), and Rejected (e.g., rates not approved by HUD)

➢ The “Rate Type” dropdown menu includes: Staff, Contractor, and Consultant. These terms are defined by HUD.

➢ The “Occupation Type” dropdown includes those associated with existing rates in the system.

4. Click the <Search> button.

➢ The search results are displayed on the same page.

➢ The user can sort the results using the headers for the search results.

➢ Click the <Search Again> link or the <Reset> button to restart the search.

Procedure: HUD Approval of TA Staff Rate Types

Authorized HUD persons can approve or reject TA staff rates. These persons include the CPD Rep and other HUD staff assigned to the Staff Rate Approval group for the grant. Authorized HUD users have access to the “Review Staff Types” link under the “Admin” menu.


➢ This action opens a default “Admin” screen (Figure 3-72).

2. Click the <Review Staff Types> link on the left menu.

➢ The system displays the “Review Staff Types” screen (Figure 3-72Error! Reference source not found.).

Figure 3-72: Review Staff Type Link

• Use the Search TA Staff Rate procedures (3-47, 3-47) to search for rates which require approval. ➢ Search results appear within the same window, on the Review Staff Types Screen (Error!

Reference source not found.).

Figure 3-73: Review Staff Types

➢ Use the “Search Again” link to re-do the search, if needed.

• To view supporting documents associated with a TA staff rate, click the <View Documents> link. ➢ This action open a separate window with the supporting documents submitted by the TA

Provider (Figure 3-74: View Documents).



Figure 3-74: View Documents

➢ Click the <Close> button to return to search results in DRGR.

• On the page with search results, click one or more checkboxes under the “Select” column, to approve the rate.

• Then, click the <Review> button. ➢ The system displays the “Review Comment” popup window (Figure 3-75).

Figure 3-75: Review Comments

• On the “Review Comments” popup window, select the approval action (Approve, Reject, Inactive), add comments in the textbox, and click the <Submit> button, to complete the review action.

➢ The window will automatically close, after clicking the <Submit> button.

➢ To close the “Review Comments” popup window without submitting approval or comments, click the <Close> link at the top right of the window.

3.5.2 Manage TA Staff

The system allows TA Providers with the Staff Rate user role to add, edit, and delete persons associated with TA Staff Rates that have been approved by HUD.

Procedure: Add or Edit TA Staff

The system does not send email notices when HUD review decisions are complete. HUD staff should send a separate email to the TA Providers. HUD review actions and comments are in the DRGR and in Staff Rate reports in the Reports module.



TA Providers with the Staff Rate user role can add and edit staff persons associated with approved TA Rates in DRGR via the “Manage TA Staff” link in the “Admin” module (Figure 3-76). If this link is not available, then the user does not have the correct privileges in DRGR.

1. After logging in and accepting the ‘Disclaimer,’ click the <Admin> tab

2. In the left navigation column, click <Manage TA Staff> link in the ‘Admin’ box (Figure 3-76).

➢ This action opens the “Manage TA Staff” screen (Figure 3-76).

Figure 3-76: Manage TA Staff

3. To add TA staff, click the <Add Staff> button.

➢ This opens the “Add Staff” screen (Figure 3-76).

4. To edit TA staff, use the search criteria to search for a rate, and in the search results, select the name of the staff person in the search result.

➢ This opens the “Edit Staff” link (Figure 3-76).

5. Complete the mandatory fields (e.g., fields marked with an asterisk (*)) on the screen.

If there are multiple TA Staff Rates associated with a single person, then add the person in DRGR multiple times, so that the person is associated with each TA Staff Rates.



➢ Is staff a current DRGR user? Click “Yes” or “No” to answer the question. ➢ Select user: select the name of the DRGR user. If the staff person is not a DRGR user, the field is

grayed-out. ➢ First Name, Middle Initial, Last Name: enter the name of the staff person. If the staff person is

a DRGR user and a name was selected from the “Select user” field, the person’s name is populated.

➢ Title: Enter the title of person. ➢ Organization: Select the name of the organization for which the person works. ➢ Staff Type: select the HUD approved rate associated with the person ➢ Status: status defaults to “Active” but can be changed to “Inactive,” if the person and rate are

no longer used under the TA award.

6. Click the <Save> button to save the Staff information in DRGR. Or click the <Cancel> button to return to the previous screen.

• Do not deactive a person unless all reimbursement payments are complete, including indirect cost rate adjustments, and all associated TA work plans have a “Closed” status in DRGR

• Do not change the associated rate for a person, unless there is an actual error. Any existing person who gets a new hourly rate should be added as a new person in DRGR.

Staff can be added to rates only after the rates are approved by HUD. TA Providers are responsible for adding staff to HUD approved TA Rates, as per the HUD Wage Rate standards. These standards are available online at https://www.hud.gov/program_offices/comm_planning/about/cpdta/guidance.

https://www.hud.gov/program_offices/comm_planning/about/cpdta/guidance